Supported by our extensive resources, USI Consulting Group's in-house Regulatory & Compliance department keeps a close watch on legislative and regulatory changes, analyzes the potential impact of these changes and provides recommendations to help you adjust your business planning and decision making. Our consulting services include:

  • Plan design
  • Plan drafting
  • Termination/mergers
  • Determination letter filings
  • IRS/DOL audit support
  • Plan consulting
    - Fiduciary issues
    - Plan defect correction
    - QDRO review
    - Client newsletters


Neither USI nor its affiliates and/or employees/agents/registered representatives offer legal or tax advice.

Please note that our Regulatory and Compliance Consulting attorneys are not your legal counsel and may not supply you with legal opinions or legal advice. Communications with our attorneys are not privileged under the attorney-client privilege. Working with your senior executive group, your outside benefit specialist or legal counsel, our attorneys bring added value to your organization in a creative, business-oriented and practical manner based on years of experience with constantly changing, complex rules to important corporate benefit programs. In addition, to comply with regulations issued by the IRS concerning the provision of written information regarding issues that concern or relate to federal tax liability, unless otherwise expressly reflected therein, any written information provided to you by our compliance attorneys that concerns federal tax issues is not written, offered or intended to be used, and cannot be used, by anyone for the purpose of avoiding federal tax penalties that may be imposed by the IRS or promoting, marketing or recommending to another party any matters addressed in the document.